Senior Compliance Monitoring Manager

Clayton Davies; England; Hybrid; GBP 60,000 - 80,000; Full time

Job summary

A leading financial advisory firm is seeking a Senior Compliance Monitoring Manager to enhance their compliance oversight. The role involves leading annual compliance plans, producing management reports, and working closely with business leaders to improve frameworks. The ideal candidate should have a strong compliance background in financial services and knowledge of FCA regulations. Hybrid working arrangements are available, and candidates are encouraged to apply promptly.

Qualifications

• Strong background in compliance monitoring or audit within financial services.
• Excellent working knowledge of regulations in the financial sector.
• Proven ability in designing and executing monitoring programmes.

Responsibilities

• Lead the design and delivery of the annual compliance monitoring plan.
• Produce high-quality reports for senior management highlighting findings.
• Stay up to date with regulatory developments.

Skills

Compliance monitoring expertise

Knowledge of FCA rules (COBS, SYSC and CONC)

Risk-based monitoring programme design

Job description

Senior Compliance Monitoring Manager

Our client, a leading national firm of Independent Financial Advisers, provides trusted financial planning and wealth management services to clients across the UK. We are strengthening our compliance oversight function to maintain robust governance and control frameworks.

Location: Hybrid – Based out of various locations | Contact: 07515031496 | [e-mail]

Role & Responsibilities

• Lead the design and delivery of the annual compliance monitoring plan in line with risk appetite and regulatory priorities.
• Produce high‑quality reports and MI for senior management and governance committees, highlighting findings, trends and areas for improvement.
• Work collaboratively with business leaders to develop practical and proportionate action plans.
• Stay up to date with regulatory developments, translating requirements into actionable monitoring and guidance.
• Contribute to continuous enhancement of compliance frameworks, systems and methodologies.

Qualifications

• Strong background in compliance monitoring or audit within financial services, ideally in wealth management or IFA sector.
• Excellent working knowledge of FCA rules (COBS, SYSC and CONC).
• Proven ability to design and execute risk‑based monitoring programmes.

Additional Information

Due to the high volume of applications, we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.

Clayton Davies is acting as an employment agency on behalf of our client.